Articles Tagged with Western International Securities

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Patrick Egan (Egan), previously associated with Western International Securities, INC., has at least 3 disclosable events. These events include 3 customer complaints, alleging that Egan recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a settled customer complaint with a damage request of $50,001.00 on March 06, 2024.

Misrepresentation

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Robert Sessa (Sessa), currently associated with Western International Securities, INC., has at least one disclosable event. These events include one customer complaint, alleging that Sessa recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a settled customer complaint with a damage request of $45,937.02 on January 22, 2025.

Clients complained about the performance of alternative investments. The firm settled to avoid the costs of litigation and denies any wrongdoing and/or liability.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Christopher Polimeni (Polimeni), currently associated with Western International Securities, INC., has at least one disclosable event. These events include one customer complaint, alleging that Polimeni recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a pending customer complaint with a damage request of $1,600,000.00 on April 16, 2025.

Customer alleged that financial professional converted customer’s assets by transferring them to a foundation.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Antoine Abi Nader (Abi Nader), currently associated with Western International Securities, INC., has at least one disclosable event. These events include one customer complaint, alleging that Abi Nader recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a pending customer complaint with a damage request of $500,000.00 on May 17, 2024.

Customer alleges that investment recommendation was unsuitable and misrepresented.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Thomas Hartfield (Hartfield), previously associated with Western International Securities, INC., has at least one disclosable event. These events include one customer complaint, alleging that Hartfield recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a pending customer complaint with a damage request of $400,000.00 on July 18, 2024.

Customer alleges that an investment recommendations were unsuitable.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker David Karin (Karin), currently associated with Western International Securities, Inc., has at least one disclosable event. These events include one customer complaint, alleging that Karin recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a pending customer complaint with a damage request of $75,000.00 on March 21, 2025.

Customer alleges that an investment recommendation was unsuitable and misleading.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Hiroshi Mizutani (Mizutani), currently associated with Western International Securities, Inc., has at least one disclosable event. These events include one customer complaint, alleging that Mizutani recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a pending customer complaint with a damage request of $200,000.00  on July 30, 2024.

Customer alleges that investment recommendation was unsuitable and misleading.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Gaylord Rohloff (Rohloff), currently associated with Western International Securities, Inc., has at least 3 disclosable events. These events include 3 customer complaints, alleging that Rohloff recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a settled customer complaint with a damage request of $350,000.00  on July 31, 2024.

Client claims investment was unsuitable.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker John Egan (Egan), previously associated with Western International Securities, Inc., has at least 6 disclosable events. These events include 6 customer complaints, alleging that Egan recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a pending customer complaint with a damage request of $5,000.00 on September 06, 2024.

Customer alleges that an investment recommendation was unsuitable.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker David Glienke (Glienke), currently associated with Western International Securities, Inc., has at least 2 disclosable events. These events include 2 customer complaints, alleging that Glienke recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a pending customer complaint with a damage request of $200,000.00 on September 11, 2024.

Customer alleges that an investment recommendation was unsuitable and misleading.

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